Date :
Place : United States, Fremont
Contact Person:OCP Panel
Description:
This program will explain the new SEC custody rule and the potential effect it may have on your firms and clients. Register Now.Deadline for abstracts/proposals : 28th June 2017
Organized By :Online Compliance Panel
Keynote Speakers : Lisa M. Marsden, IACCP, is the president and founder of Coulter Strategic Services. Coulter Strategic Services provides financial advisors and consulting firms with compliance and project management services. Prior to that, Ms. Marsden was the chief operating officer/chief compliance officer of Financial Trust Asset Management, Boca Raton, Florida.
Conference Highlights :There have been significant deficiencies over the years since the Custody Rule was amended, including a 2017 SEC No Action letter and revision to the FAQs on Custody.
Venue :Los Angeles, CA, United States
Check the event website for more details.